PECI O&M Best Practices Series

O peration and
M aintenance
A ssessments
A Best Practice for
Energy-Efficient
Building Operations

Prepared with funding from the U.S. EPA and U.S. DOE
September 1999
 ACKNOWLEDGEMENTS
Appreciation is extended to the C limate Protection
Division of the U.S. Environmental Protection Agency
(EPA) for funding this project in cooperation with the
U.S. Department of Energy (DOE). Tudi Haasl of
PECI is the primary author of this publication.
Special thanks to Greg Sullivan of Pacific Northwest
National Laboratory and Karl Stum of PECI for their
careful review of this document.

For additional copies of this guidebook, contact:

Portland Energy Conservation, Inc.
921 SW Washington, Suite 312
Portland, OR 97205
(503) 248-4636
e-mail: peci@peci.org
Also available on-line at www.peci.org

If you are an E NERGY S TAR ® Buildings partner or

ally, contact:
Energy Star Buildings
U.S. EPA
401 M Street, SW (6202J)
Washington, DC 20460
Toll-free hotline: 1-888-STAR-YES (1-888-782-7937)
Also available on-line to E NERGY S TAR ® Buildings partners
and allies at www.epa.gov/buildings
 TABLE OF C ONTENTS

O&M ASSESSMENTS — ENHANCING ENERGY EFFICIENT

BUILDING OPERATION

INTRODUCTION...............................................................................................................................................1

WHAT IS AN O&M ASSESSMENT?.................................................................................................................3

WHO SHOULD PERFORM O&M ASSESSMENTS? ......................................................................................7

O&M ASSESSMENT BENEFITS......................................................................................................................9

WHAT BUILDINGS MAKE THE BEST CANDIDATES

FOR O&M ASSESSMENTS? ..............................................................................................................................12

HOW MUCH DOES AN O&M ASSESSMENT COST? ...................................................................................14

O&M ASSESSMENT PROCESS ........................................................................................................................16

Owner’s Responsibilities .........................................................................................................................................................16

O &M Consultant’s Responsibilities. .................................................................................................................................18
Incr easing Cost Ef f ecti veness ................................................................................................................................................23

NEXT STEPS.......................................................................................................................................................26

GLOSSARY OF TERMS......................................................................................................................................27

LIST OF ACRONYMS.........................................................................................................................................29

REFERENCES ....................................................................................................................................................30

APPENDIX A: SAMPLE SITE-ASSESSMENT FORMS ....................................A-1

APPENDIX B: O&M ASSESSMENT REQUEST

FOR PROPOSAL CHECKLIST .....................................................................B-1

APPENDIX C: O&M SAMPLE PROCEDURES

AND PLAN.................................................................................................C-1

APPENDIX D: SAMPLE MASTER LOG

OF FINDINGS ............................................................................................D-1
 O&M ASSESSMENTS

O&M ASSESSMENTS —
ENHANCING ENERGY-EFFICIENT

9
BUILDING OPERATION
Best Practices in Operation and
Maintenance

I NTRODUCTION
A lthough building commissioning 1 is becoming more
popular for new construction projects, most buildings
have never undergone any type of systematic process to
ensure they operate optimally. Several studies 2 over the
past few years have indicated that existing U.S. commercial
office buildings hold tremendous opportunities for
increasing energ y efficiency through low-cost O&M
improvements. These improvements can yield savings of
five to twenty percent of a building’s annual utility bill. Low-cost improvements can save
Simple paybacks are generally less than 2 years, which 5-20% of a building’s annual energy
equals a 98% IRR (based on a 7 year measure life.) 3 bill.
Understanding why building systems are operated and
maintained the way they are, and where and what improve-
ments are most beneficial and cost-effective is the first
step to obtaining energy-efficient building performance.
An O&M assessment provides a systematic look at all
aspects of the current O&M practices including the man-
agement structure, policies, and user requirements that
influence them. It may include:
• Interviews with management, O&M personnel and ser-
vice contractors;

1 Commissioning is the “process of ensuring that systems are designed,

installed, functionally tested, and capable of being operated and main-
tained to perform in conformity with the design intent,” according to
ASHRAE Guideline 1-(1996).
2 Piette, 1994. Gregerson, 1993. Haasl et al, 1996.

3 John S. Hoffman and John Bruce Wells, Closing the Efficiency Gap: Using
Profit to Drive The Capture of Value, 1998, WorkSmart Energy
Enterprises, Inc.

1
 O&M ASSESSMENTS

• A review of equipment condition, building documenta-

tion, and service contracts;
• Spot tests of equipment and controls;
• Trend or data logging of critical data points (tempera-
tures, pressures, electrical, etc.) over time.
The gathering and analysis of this information reveals
where improvements are needed and which improvements
O&M assessments optimize are most cost-effective.
building performance and identify
money-saving opportunities. The assessment also checks schedules and control strate-
gies to determine if the building is operated optimally and
develops a list of recommended improvements that sup-
port energy-efficient operation. It can provide a starting
point or baseline from which to measure the effectiveness
of improvements and ongoing O&M activities. Depending
on the scope of work, an assessment may include recom-
mendations for more extensive improvements (such as air
or water balancing) and capital improvements for the
owner to consider as well as motivational and behavioral
issues that affect building performance.
Portland Energy Conservation Inc. (PECI) researched and
developed this document with funding from the C limate
Protection Division of the U.S. Environmental Protection
Agency (EPA), in cooperation with the U.S. Department of
Energy (DOE). This document primarily focuses on O&M
assessments for commercial building HVAC, lighting and
control systems. It discusses what an O&M assessment
involves, how it differs from an energy audit, the value of
hiring an O&M consultant, and what the benefits and costs
are for performing an assessment. It also briefly describes
the process and how an owner can increase the cost effec-
tiveness of the process.

2
 O&M ASSESSMENTS

W HAT IS AN O&M
A SSESSMENT ?

A n O&M site assessment is a systematic method for

identifying ways to optimize the performance of an
existing building. It involves gathering, analyzing, and pre-
senting information based on the building owner or man-
ager’s requirements. Owners generally perform an O&M
assessment for the following reasons: See Appendix A for sample
assessment forms.
• To identify low-cost O&M solutions for improving
energy efficiency, comfort, and indoor air quality (IAQ)
• To reduce premature equipment failure
• To insure optimal equipment performance
• To obtain an understanding of current O&M and PM
practices and O&M documentation
O&M assessments may be performed as a stand-alone
activity that results in a set of O&M recommendations or
as part of retrocommissioning (a larger more holistic
approach to improving existing-building performance).
The goal of the assessment is to gain an understanding of
how building systems and equipment are currently operat-
ed and maintained, why these O&M strategies were chosen,
and what the most significant problems are for building
staff and occupants. Implementing O&M changes without
fully understanding the owner’s operational needs can have
disappointing and even disastrous effects. Most projects
require the development of a formal assessment instru-
ment in order to obtain all the necessary O&M informa-
tion. This instrument includes a detailed interview with
the facility manager, building operators and maintenance
service contractors who are responsible for the administra-
tion and implementation of the O&M program.
Depending on the scope of the project it may also include
an in-depth site survey of equipment condition and gath-
ering of nameplate information. Sample assessment forms
are presented in Appendix A. An O&M assessment can
take from a few days to several weeks to complete depend-
ing on the objectives and scope of the project.
The assessment identifies the best opportunities for opti-
mizing the energy-using systems and improving O&M
practices. It provides the starting point for evaluating the
present O&M program and a basis for understanding
which O&M improvements are most cost effective to
implement.

3
 O&M ASSESSMENTS

Retrocommissioning applies a four-phase process for improving or optimizing an existing building's opera-
tion and maintenance procedures. Retrocommissioning is applied to buildings that have not previously been
commissioned. The systematic retrocommissioning process optimizes how equipment and systems oper-
ate, and how the systems function together. O&M tune-up activities and diagnostic monitoring and testing
are primarily used to optimize the building systems. This flow chart shows the steps in the retrocommis-
sioning process. This booklet covers the Planning and Investigation Phases.

PLANNING PHASE Develop project objectives

Hire a Commissioning Provider &

develop team

Review & update building

documentation

Develop Retrocx Plan

An O&M Assessment
INVESTIGATION PHASE Perform O&M site assessment includes the
Planning and
Investigation Phases
Develop diagnostic monitoring and test plans of retrocomissioning

Perform functional testing

Develop final "Master List" of

improvements

Prioritize and select the most cost-effective

improvements to implement

IMPLEMENTATION PHASE
Implement selected improvements

Retest / remonitor as needed

PROJECT HAND-OFF Prepare final report

FIGURE 1
Retrocommissioning: A Four Phase Process

Excerpted from A Practical Guide for Commissioning Existing Buildings published by Oak
Ridge National Laboratory in May 1999.

4
 O&M ASSESSMENTS

A N O&M A S S E S S M E N T IS NOT AN
ENERGY AUDIT
An O&M assessment differs from a traditional energy
audit, even though they share the goal of reducing operat-
ing costs and energy waste and improving the building
environment. Traditional energy audits identify technolo-
gy-intensive, energy-efficient capital improvements. O&M
assessments identify low-cost changes in O&M practices
that can improve building operation. The O&M assess-
ment may be performed prior to an energy audit because it
offers ways to optimize the existing building systems,
reducing the need for potentially expensive retrofit solu-
tions. It may also be performed as part of an energy audit,
because implementing the low-cost savings identified in
the assessment can improve the payback schedule for cap-
ital improvements resulting from the energy audit. Table 1
summarizes the basic differences between the O&M
assessment and the traditional energy audit.

TABLE 1
The Differences Between a Traditional Energy Audit and an O&M Assessment

Traditional Energy Audit O&M Assessment

Emphasizes investigating existing building systems
for equipment replacement (retrofit) opportunities
leading to energy cost savings
A typical energy audit on-site process is relatively
fast (16 hours)
Seldom includes functional testing of present
building systems
Generally performed by an outside consultant
May include building simulation models
Results in a list of energy conservation retrofit
measures
Typical recommendations are time consuming and
expensive to implement
Typical paybacks are estimated at three or more
years
Generally requires an outside contractor to
implement equipment replacements
Emphasizes investigating existing building systems
to identify low-cost O&M improvements leading to
energy cost savings
O&M assessment on-site process is relatively time
consuming (2 days to 2 weeks)
Generally includes some degree of functional testing
of present building systems
Generally performed by an outside consultant
Rarely includes building simulation models
Results in a master list of O&M improvements
Typical recommendations are fast and inexpensive to
implement
Typical pay-backs are estimated at less than two
years (often less than one year).
In-house staff can often implement many O&M
improvements

5
 O&M ASSESSMENTS
O&M assessments identify
low-cost, low-risk improve-
ments.
6
Although the O&M assessment can be as expensive and
sometimes more expensive to perform than the traditional
energy audit, the findings from the assessment are usually
much less expensive to implement because they don’t
involve installing large capital improvements. In fact,
managers can consider most O&M assessments outside of
typical corporate hurdle rates, because the risk of not real-
izing savings is so low. The O&M assessment does not
ignore capital improvements and may include recommen-
dations to further investigate certain retrofit opportunities,
but its true goal is to identify the low-cost improvements.
Because energy audits are specifically part of an equipment
replacement process, they are often performed as a financ-
ing requirement. For an owner to obtain funding either in-
house by way of their capital projects department or from
third party financing (such as an energy service perfor-
mance contract), a solid energy audit provides the neces-
sary assurances that the investment is financially sound. It
is a good idea to combine the energy audit and the O&M
audit, which investigates low-cost O&M enhancements.
With financial investment, the O&M assessment can help
owners to understand and evaluate the energy-efficiency
opportunities in buildings by optimizing performance and
minimizing energy waste of existing equipment. This is not
to say that an O&M assessment should be done in place of
an energy audit. Both have an appropriate place in the
overall energy management process and should be consid-
ered complementary.
 O&M ASSESSMENTS

W HO S HOULD P ERFORM
O&M A SSESSMENTS ?

D epending on the complexity of the building systems

and the expertise and availability of the in-house
building staff, a building owner may choose an outside
consultant to perform the assessment. Commissioning
consulting firms and engineering firms that provide com-
missioning and diagnostic or retrocommissioning services
as part of their core business activities usually are well-
suited to perform O&M assessments. They have the nec-
essary experience and business commitment to the process
to help scope and deliver the specified project in a cost-
effective and timely manner.
Some good reasons to bring in an outside consultant to
perform or assist in performing an O&M assessment
include:
• The owner’s staff may not have the skill or time to per-
form an in-depth assessment.
• Consultants specializing in commissioning and O&M
services have vast experience with similar buildings
enabling them to offer a new or different perspective.
In other words, they aren’t invested in doing things the
“old way.” Commissioning consulting firms
and engineering firms that provide
• Consultants are also “tooled” for performing the work. commissioning and diagnostic or
Most have generic assessment procedures that they can retrocommissioning services as part of
customize to fit the building they are hired to assess. their core business activities usually are
• Consultants have analytical skills and tools for diagnos- well-suited to perform O&M assess-
ing hidden problems and determining the cost effective- ments.
ness of selected improvements.
Four O&M assessment approaches to consider include:
1. Hire an outside expert to perform the assessment from
start to finish. This approach often works well for own-
ers who have one or more buildings with no O&M staff,
or minimal staff with little time or training.
2. Owners or managers with multiple buildings and a well-
trained, interested, available O&M staff, may want to
hire an outside consultant to work with the building
staff for the first one or two buildings. After the build-
ing staff is trained in the process they can go on to
assess the rest of the buildings themselves.

7
 O&M ASSESSMENTS

3. Use the second approach but retain the outside consul-

tant throughout the entire project to oversee critical
parts of the assessment process either as assigned or as
needed. Owners who use this approach often ask the
consultant to analyze data and estimate savings.
4. Divide the assessment work between the outside consul-
tant and the O&M staff. Depending on the scope of the
project and staff availability, the O&M staff can obtain
all of the nameplate data and perform the equipment
condition assessment. This allows the consultant to
concentrate on operating issues and the impact that var-
ious building users have on the operation and mainte-
nance of the building.

8

O&M A SSESSMENT
B ENEFITS
T he greatest benefit of performing a building O&M
assessment is informational. The information result-
ing from an O&M assessment can be used to help priori-
tize both financial and policy issues regarding the manage-
ment and budget for the facility. It presents a clear picture
of where and what improvements may be most cost effec-
tive to implement first. The assessment process, depend-
ing on the owner’s or manager’s requirements, can also
provide direct training and documentation benefits for
O&M staff.
Depending on the goals for performing the assessment,
typical benefits may include:
• Identifying operational improvements that capture ener-
gy and demand savings
• Identifying operational improvements that positively
affect comfort and IAQ
• Improving building control
• Developing a baseline report on the condition of major
HVAC equipment
• Developing an updated and complete equipment list
(nameplate data)
• Identifying issues contributing to premature equipment
failure
• Identifying ways to reduce staff time spent on emergen-
cies
• Increasing O&M staff capabilities and expertise
• Determining whether staff require additional training
• Identifying and gathering any missing critical system
documentation
• Developing a complete set of sequences of operation
for the major HVAC systems
• Evaluating the EMS for opportunities to optimize con-
trol strategies
• Recommending energy-efficiency measures for further
investigation
• Determining original design intent and the cost to bring
the building back to original design
O&M ASSESSMENTS
New Installations can Benefit
from O&M Assessments
A 250,000 square foot office
building in downtown Nashville Tennessee
was renovated in 1993. The renovation
included installing a DDC energy manage-
ment control system to control the variable
air volume (VAV) HVAC system and light-
ing and a variable frequency drive (VFD) for
the chilled water system. The building was
not commissioned as part of the renova-
tion. An O&M assessment was performed
three years later because the building was
experiencing problems and energy bills
seemed higher than expected. As a result
of the assessment, a total of 32 O&M relat-
ed problems including a major IAQ
deficiency were identified. It was also
determined that the majority of these
problems had been present since the reno-
vation. Annual energy savings from the
recommended O&M improvements and
repairs are estimated at over $42,000. The
cost of the assessment was approximately
$13,000 and the cost of implementing the
repairs is estimated at $9,300. The simple
payback for both the assessment and
implementation is under seven months.
9
 O&M ASSESSMENTS

• Providing a cost/benefit analysis of implementing the

recommended O&M improvements
• Developing an operating plan and policy to maintain
optimal building performance over time
The best benefits keep on giving long after the process is
completed. For example, the final master log of recom-
mended improvements along with the estimated savings
allows an owner or building manager to prioritize and bud-
get accurately for the implementation process. Also, minor
problems that could be solved during the assessment may
begin to reduce energy costs and improve comfort imme-
diately; equipment life may be extended for equipment that
may have failed prematurely due to hidden problems, short
cycling, or excessive run time.

Raytheon Corporation: A Brief Case Study

The Raytheon company was approached by Boston Edison in late 1999 to participate in a pilot retrocommissioning study.
As a result Boston Edison hired an O&M consultant to conduct an O&M assessment of three of the five buildings at
Raytheon Corporation's Sudbury, MA site. These buildings house primarily office space, along with some process and
limited laboratory spaces. The total facility is over 540,000 sf. The three buildings investigated were Building 2 (30,500
sf, 38 years old), Building 3 (67,500 sf, 30 years old) and Building 5 (132,400 sf, 13 years old).
The objectives of the project were, in order of importance:
· Conduct an O&M assessment demonstration for replication at other Raytheon facilities
· Reduce energy costs in the facility
· Bring equipment to its proper operational state
The consultant observed each building's present operation practices in an attempt to find cost-effective improvements
that could be implemented primarily by the owner's building staff and service contractors. The heating, ventilating, air
conditioning and lighting systems were investigated. The consultant did not extensively investigate capital improvements.

O&M Assessment Process

Develop Scope and Plan. Due to the project being completed in the winter and due to budget limitations, the owner and
consultant decided to focus the efforts in Buildings 2, 3 and 5. Within those buildings only the lighting, air handlers, boil-
ers and rooftop packaged units would be evaluated, with the chiller system looked at if time permitted.
Documentation Review. The O&M consultant first obtained and reviewed building documentation to become familiar with
the building and its systems. This documentation included equipment lists, control program code, system schematics
and energy accounting and billing data.

10
 O&M ASSESSMENTS

Initial Site Assessment. The next step was to conduct an initial site assessment. The consultant's team of two engineers
spent 2 ½ days in the building interviewing staff, reviewing control code, inspecting equipment, performing a night walk-
through, and performing an analysis of the site-gathered data. An analysis of billing and 15-minute demand data was also
conducted.
The initial site assessment identified 26 significant findings, as well as areas where additional analysis is needed, includ-
ing monitoring and testing.
Monitoring and Manual Testing. The consultant used a combination of datalogging, BAS trending, and manual testing to
investigate and monitor suspected deficiencies. From this investigation, the O&M consultant identified eight new findings
and obtained additional information on seven of the original 26 findings.
The O&M consultant then roughly prioritized the findings, first by energy savings potential, second by how economical
the recommendation would be to implement, and lastly by how likely it was that the recommendation would actually be
implemented, if selected. These rankings assisted the owner in selecting the recommendations to implement or investi-
gate further.
The O&M consultant discussed the findings on site with facility staff and utility representatives. In that meeting each find-
ing was explained and discussed. Clarifications were made and further understanding was obtained about the findings
and recommendations. The owner's intended action on each recommendation was identified.
The consultant estimated energy savings for the recommendations where there was a need and where enough informa-
tion existed to make an estimate. The consultant then developed a general implementation plan for each of the recom-
mendations accepted by Raytheon. At this point, a formal report was generated.
The report included the following recommendations:
• Significant opportunity exists to reduce off-hours energy use. Freeze protection, a few small process loads and odd
scheduled workers were driving large sections of the facility to run 24 hours a day. Energy use during unoccupied peri-
ods (nights and weekends) made up 70% of the total energy use. This could be reduced, decreasing the entire utility
bill by over 30%, by re-instituting the company's automatic lighting control policy, making adjustments and small cap-
ital improvements so the entire chiller plant could be shut down at night, evaluating each of the dozens of pumps and
fans and programming them to shut off at night, etc.
• Changing the economizer changeover parameter from outdoor air dew point to wet bulb would allow more free cool-
ing to occur.
• Installing high-quality occupancy sensors in numerous conference rooms and offices would reduce unnecessary light-
ing energy.
• Changing the control code to keep the cooling tower fans off when there is no load will reduce energy use.
• Incorporating a duct static pressure reset strategy on six of the main air handlers will reduce the fan energy signifi-
cantly.
• Programming in a chilled water supply temperature reset strategy (it was fixed at the time of the assessment) would
further reduce energy expenses.

Energy Savings Estimates

Savings for measures that were estimated totaled over 6,000,000 kWh and $400,000 annually. This represents close to
40% of the total energy use of the campus (all 5 buildings). Over 90% of the savings came from operating the equipment
only when necessary—reducing operation during unoccupied hours and days. The remainder of the estimated savings
originate from findings that optimize the operational parameters of equipment. Savings were not estimated for a number
of findings, and other building components and systems were not even investigated.

11
 O&M ASSESSMENTS
New and retrofitted facilities
also contain significant sav-
ings opportunities.
12
W HAT B UILDI NGS M AKE THE
B EST CANDIDATES FOR
O&M A SSESSMENTS ?
T he most obvious candidates for an O&M assessment
are buildings with any one or a combination of the
following: significant energy costs, excessive comfort com-
plaints, control problems, suspected IAQ issues, and
repeated equipment failures. However, almost any com-
mercial office building can benefit from an O&M assess-
ment, including new buildings.
There is a misconception that new buildings and recently
renovated or retrofitted buildings no longer contain any
significant energy-saving O&M opportunities. This may
be true for renovations and new construction projects that
incorporate formal commissioning to ensure design intent.
It may also be the case for retrofit projects receiving
investment grade audits (IGAs) 4 along with formal com-
missioning of new equipment. Unfortunately, few projects
completed today use these quality assurance methods.
Because of this quality assurance gap, most newer build-
ings as well as recent retrofit projects offer some of the
best opportunities for O&M improvements leading to
energy savings and improved building performance. The
idea is to capture as much savings as possible from identi-
fying and implementing low-cost O&M improvements
early in the life of a building or retrofit.
Table 2 lists some typical mechanical equipment and con-
trols found in medium to large commercial buildings that
are particularly subject to O&M problems. A good O&M
assessment investigates each of these systems (and proba-
bly others) for improvement opportunities. Buildings with
even a few of the systems or components listed on Table 2
may be a good candidate for an O&M assessment. Some of
the symptoms that may indicate problems exist with these
systems are high utility bills, excessive comfort calls, and
repeated repairs on the same equipment. Even if none of
these symptoms exist, buildings may be able to realize sig-
nificant energy savings. Energy waste is often hidden.
4 An Investment Grade Audit is a rigorous energy audit that includes O&M
assessment features, plus a risk assessment of the likelihood of sustained
savings for energy-efficiency improvements.
 O&M ASSESSMENTS

Table 2
Typical Mechanical Equipment and Controls Subject to O&M Problems
System or Component Typical Problems

Energy Management System Downgraded to timeclocks or switches by disabling or overriding,

(EMS) capabilities were never fully engaged

EMS Faulty programming or logic, valve and damper hunting

Setpoints Setpoints incorrect or not optimum for conditions

Schedules Equipment and lighting operating when not necessary

Air-side economizers Binding dampers, improper setpoints, sensors out of calibration

Sensors Out of calibration, broken, or poorly placed

Dampers and valves Linkage broken, leaky, malfunctioning (not modulating effectively)

Fans and pumps Operating at higher capacities than necessary

Automatic controls Not used or poorly programmed

Manual controls Poorly operated

Reset schedules Not functioning, or set at inefficient levels

Cooling tower & chiller Inefficient staging and sequencing

Boiler systems Inefficient staging and sequencing, inefficient combustion, failed steam
traps

Lighting sweep controls Not functioning, wrong time, overridden, broken or poorly zoned

Compressor sequencing Improper staging and sequencing

Variable air or water flow Variable speed drive parameters restrict full modulation or cause hunting

Equipment cycling (motors) Excessive or mysterious cycling

Air distribution system Poor sensor location, dirty filters and coils, blockages

13
 O&M ASSESSMENTS

HOW MUCH DOES AN O&M

A SSESSMENT C OST ?

H ow much an O&M assessment costs is influenced by

The assessment process
includes fixed costs that do
not vary with building size.
Therefore, the actual cost of a pro-
ject is more related to scope and
complexity than to building size or
age.
several factors:
• The number and complexity of the buildings, systems,
and equipment involved
• The number and type of assessment objectives
• The availability and completeness of building documen-
tation
• The availability and expertise of the O&M staff.
A project with several objectives will naturally cost more
than a project with fewer objectives. Also, a project with
complicated controls and numerous pieces of equipment
will cost more than a simple building with only a few
pieces of equipment. Scoping the project to obtain the
most benefit at the least cost can be challenging. The
owner must have a clear vision for what the assessment
needs to accomplish and impart that vision to the O&M
consultant. In some cases the owner may want to hire an
O&M consultant to help scope the project.
Considering the factors discussed above, the cost for
performing O&M assessments on typical commercial or
retail facilities between 50,000 and 300,000 square feet can
range from about $10,000 to $50,000. The assessment
process includes fixed costs that do not vary with building
size. Therefore, the actual cost of a project is more relat-
ed to scope and complexity than to building size or age.
For fairly large complicated or multiple buildings, an
owner may want to put the assessment project out to bid.
One rule-of-thumb for determining the cost of an assess-
ment for commercial buildings with up-to-date and com-
plete documentation and no unusual characteristics (such
as laboratories, clean rooms, fume hoods etc.) is to budget
approximately $.11 - $.35 per square foot for the assess-
ment.
Savings can only accrue if recommendations from the
assessment are implemented. Implementing even a few of
the operational improvements suggested by the assessment
can often pay back the assessment and the cost of imple-
mentation in a very short time. Recent field data from a
44-building cost-effectiveness study perfor med by

14
 O&M ASSESSMENTS

E Source 5 demonstrates that an extensive O&M assess-

ment and the implementation of recommended improve-
ments for all of the “energy-intensive” buildings as well as
When the assessment process is
several “energy efficient buildings” resulted in paybacks of combined with implementation of
less than two years. Figure 2 is taken from this study and recommendations, it is often
compares a simple payback from the assessment and referred to as retrocommissioning. See
implementation process to nor malized energ y cost. the flow chart on retrocommissioning on
Combining the O&M assessment with an energy audit may page 4.
be beneficial to owners, because the savings from imple-
menting assessment findings can help retrofits pay back
faster.

.1/74-
Simple Payback vs. Normalized Annual Energy Cost

This figure compares simple payback from commissioning to normalized energy cost. All of the “energy-intensive” buildings
had short paybacks (less than two years), but so did several of the “efficient buildings. This information was provided courtesy
of E SOURCE, an information services company providing organizations with unbiased, independent analysis of retail energy
markets, services and technologies.

5 Gregerson, Joan. Commissioning Existing Buildings, a Tech Update (TU-97-3) pub-

lished by E Source, March 1997.

15
 O&M ASSESSMENTS

O&M A SSESSMENT P ROCESS

T he following briefly describes the assessment process

by highlighting the responsibilities of the owner and
owner’s staff, and the O&M consultant throughout the
project. Responsibilities may overlap to some extent.

OWNER’S RESPONSIBILITIES
The O&M assessment process consists of several steps
beginning with the pre-assessment planning activities that
are carried out by the building owner or manager. These
activities may include:
• Setting the objectives
• Assigning staff
• Choosing the approach
• Developing the scope of work
• Hiring an O&M expert/developing the RFP

Setting the Objectives

After selecting one or more buildings to undergo the
assessment process, the owner must develop written objec-
tives for the project. It’s important that the owner or
manager involve the facility staff members who will be
The owner develops the
assessment objectives.
affected by the assessment in determining the objectives
for the work. For the assessment to be successful, O&M
staff need to view the process as a means of enhancing
and supporting their work and not as a fault-finding activ-
ity. Some objectives may be more specific and detailed
than others. Examples of typical objectives include:
• Develop recommendations for optimizing building per-
formance and equipment control to increase comfort
• Develop recommendations for optimizing building per-
formance to reduce energy waste
• Evaluate EMS capabilities and recommend ways to opti-
mize control strategies to improve comfort and save
energy
• Investigate specific problem areas of the building or
problematic equipment
• Recommend energy-efficient equipment upgrades for
further investigation
• Train building staff in the assessment process and
increase their skill in tracking the results of energy-effi-
cient improvements

16
 O&M ASSESSMENTS

• Identify and immediately report any potential IAQ prob-

lems found during the course of the assessment

Assigning Staf f
Once the objectives are established, the owner or facility
manager assigns one or more staff members to assist in the
assessment process. The individuals chosen should be
those with the most knowledge about the building’s histo-
ry and control system. Knowledgeable building staff can
improve the assessment cost effectiveness because they
reduce the time the O&M consultant needs to spend inves-
tigating how and why the building operates as it does. The
amount of time a staff person will spend assisting with the
project is generally decided during the scoping process.

Choosing the Approach

As part of the pre-assessment tasks, the owner must
choose an approach for accomplishing the work. Will most
of the work fall to an outside consultant or to in-house When knowledgeable building
staff ? The section titled “Who Should Perform O&M staff can participate in the
Assessments?” discusses four approaches to accomplishing assessment, they reduce the
the work. Most of the approaches assume that the owner time the O&M consultant needs to
has O&M staff to assist in carrying out the assessment. spend investigating how and why the
building operates as it does.
Developing the Scope of Work
Before hiring the O&M consultant, the owner or manager,
outlines a brief scope of work. A scope of work outline
includes:
• The project objectives
• Which buildings, building systems, and equipment will
be part of the assessment
• The desired approach, methods and rigor for accom-
plishing the work
• The timeframe for project completion
• The number and type of expected deliverables or work
products resulting from the assessment
Although the owner or manager initially outlines the scope
of work, once the O&M consultant is hired, he or she
often develops a more detailed scope of work. This is usu-
ally the case for complex or multi-building projects.
Involving the O&M consultant in developing the scope of
work can avert misunderstandings about project expecta-
tions and the amount of staff time the project requires.

17
 O&M ASSESSMENTS

Hiring an O&M Expert / Developing the RFP

The owner’s last major task in the pre-planning process is
hiring the O&M consultant. Depending on the complexi-
ty and size of the project, developing an RFP may be the
best method for obtaining an experienced O&M consul-
Appendix B contains an RFP tant. Appendix B presents a checklist of items to include
checklist. in the RFP. The checklist is not comprehensive in terms of
developing an entire RFP from start to finish, but includes
critical items that will help owners develop a realistic pro-
posal for obtaining a good O&M assessment. Once the
owner has hired a consultant and established a detailed
scope of work, the next five major steps in the process are
the main responsibility of the O&M consultant. Once the
assessment is underway the owner’s main responsibility is
to review and approve the various work products and pro-
cedures.

O&M C O N S U L T A N T ’ S
RESPONSIBILITIES
The O&M consultants responsibilities include:
• Developing the assessment plan
• Holding the kick-off meeting
• Performing the assessment
• Diagnostic monitoring and testing
• Reporting the results

Developing the Assessment Plan

After reviewing the building documentation and gaining a
clear understanding of the project objectives, the consul-
tant develops the Assessment Plan which is one of the
project’s major work products. This task involves seeking
Appendix C contains a
significant input and review from the owner and owner’s
Sample O&M Assessment
Plan. staff. Appendix C presents a sample O&M Assessment
Plan.
Scheduling of the tasks described in the plan should
coincide with the project objectives. For example, if
reducing the number of comfort calls is an objective, and
these calls primarily occur during the heating season, then
any diagnostic testing should be scheduled during peak
heating conditions.

18
 O&M ASSESSMENTS

Holding the Kick-of f Meeting

Generally, the O&M consultant facilitates a kick-off meet-
ing to discuss the assessment plan. The meeting brings the
owner or manager, O&M staff, consultant and possibly a
utility representative or other relevant parties together to
review and agree to the plan and schedule. The primary
role of the owner or manager during this meeting is to reit-
erate the objectives for the project and show support for
the assessment process.
The owner also defines work protocols during the kick-off The owner’s goals determine
meeting. It is important that the consultant and any sub- the extent of the assessment
contractors or ser vice contractors involved are well activities.
informed about what is expected of them when they enter
and perform work in the building. Work protocols might
include:
• Restrictions on building keys
• Sign in and sign out requirements
• Identification requirements
• Parking permits
• Need for escort while in the building or in special areas
of the building
• The most acceptable times for performing work in ten-
ant spaces

Perf or ming the Assessment

The O&M consultant and facility staff perform the O&M
assessment that results in a master log of deficiencies
along with recommendations for repairs and improve-
ments. The goals and scope of the project determines the
extent of the assessment process. Using a series of forms
(Appendix A presents sample assessment forms) and inter-
views, the O&M consultant gathers information on the fol-
lowing major issues:
• Monthly utility data for two or more years prior to
assessment
• Building energy use and demand, daily load profiles (if
available)
• Equipment nameplate information
• Equipment condition (broken dampers, dirty coils, sen-
sor calibration, etc.)
• Current design and operational intent and actual control
sequences all equipment included in the project

19
 O&M ASSESSMENTS
Appendix D contains a sample
master log of findings.
20
• Operational cause and effect issues (why something
cycles on/off, modulates open/shut, varies in speed or
flow, etc.)
• Current run-hour schedules (time-of-day, holiday, light-
ing, etc.)
• Current set point, reset, setback, setup, and lockout
schedules
• The most severe control and operational problems
• The most comfort problems or trouble spots in the
building
• Current O&M program including PM schedules and ser-
vice contracts
• Adequacy of building documentation
• Match of O&M staff skills to building technologies
• Which tenants and what activities influence how the
building is operated and maintained
• Organizational policies and procedures that impact
operating and maintaining the building
As the assessment progresses, the O&M consultant begins
to compile the master log of findings and recommended
improvements. This list ultimately becomes an important
decision making tool for the facility manager and building
staff and is a primary product (deliverable) of the assess-
ment effort. Every finding is summarized on this list,
including any minor adjustments and repairs made during
the course of the investigation. At minimum, the list
should include the name of the system or piece of equip-
ment, a description of the deficiency or problem, and the
recommended solution. In many cases the list may also
include a savings estimate or benefit statement for each
item. See Appendix D for a sample Master Log of
Findings.
Diagnostic Monitoring and Testing
During the O&M assessment the consultant or building
staff often performs some diagnostic monitoring and
functional testing of equipment. In buildings with energy
management systems they may use the system to trend crit-
ical data points as part of the investigation, provided the
system has trending capabilities and the points chosen for
trending are calibrated prior to the effort. Once the initial
information from the interviews, forms, and minor diag-
nostic testing is analyzed, it may be necessary to further
 O&M ASSESSMENTS

test the systems to help understand how they are perform-

ing over a selected period of time.
Diagnostic monitoring not only gathers equipment-specif-
ic electrical data but also allows the O&M consultant to
observe space, plant, and outdoor temperatures along with
flows, pressures, speeds, and lighting levels under typical
operating conditions. By analyzing this information, the
consultant and O&M staff determine whether the systems
are operating correctly and efficiently. Three typical diag-
nostic methods are EMS trend logging, portable datalog-
ging, and manual functional testing. Often, a combination
of these methods is used.
Portable dataloggers are often used alone or in concert
with the EMS for short-term (several days to two weeks)
monitoring and diagnostics. 6 For buildings lacking an EMS
or where the EMS has limited capabilities, portable data-
loggers offer the only solution to tracking equipment per-
formance over time. Short-term diagnostic monitoring
serves two main purposes. It helps to more accurately
locate and verify problems and it provides more accurate
information for calculating energy savings. See Figure 3
for a sample plot resulting from diagnostic monitoring
with dataloggers. Any problems or deficiencies that are
found during the diagnostic period of the assessment are
compiled and added to the master log of findings and rec-
ommended improvements.
300 80

OSAT
This datalogger plot shows a
100% RLA
70 demand spike when the
250
building’s chiller starts dur-
60 ing a typical morning. This demon-
Outside Air Temperature, F

200
strates that the soft-start capability
50 of the integral controls was never
Chiller Load, RLA

programmed when the chiller was

150 40 installed. Depending on the electric
Chiller Amps (avg of 2 phases)
utility’s rate structure this oversight
RLA = 255A 30 may be costly if it is allowed to
100
continue year after year.
20 Programming of the integral con-
50
trols to eliminate this problem may
10 take only minutes.

0 0

20:24 3:00 6:00 9:00 12:00 15:00 18:00 21:00 0:00

FIGURE 3
Datalogger Plot
6 For more information on portable dataloggers, see “Portable Dataloggers-
Diagnostic Monitoring Tools for Energy-Efficient Building Operation,” another
publication in the EPA O&M Best Practices Series.

21
 O&M ASSESSMENTS
A close-out meeting allows the
team to discuss lessons
learned, celebrate their suc-
cesses, and review next steps.
22
Repor ting the Results
The O&M consultant prepares a comprehensive final
report that may include most of the required deliverables
for the project. The following lists the categories for a
typical O&M assessment final report includes the follow-
ing sections:
• Executive summary
• Building / systems description
• Scope of the O&M assessment
• Utility bill analysis (if required by owner)
• The original assessment plan along with corrections and
changes
• Complete master log of findings (deficiencies and rec-
ommended improvements)
• Estimated cost and benefit analysis for implementing
the recommended O&M improvements
• Improved documentation according to the scope of
work (updated drawings, written sequences of opera-
tion, updated design intent, improved preventive main-
tenance plan, etc.)
• List of recommended capital improvements for further
investigation (as required by owner)
• EMS trending plan and datalogger diagnostic / monitor-
ing plan (optional by owner)
• Resulting data and analysis from EMS trending and
portable dataloggers
• All completed functional tests and results
Once the consultant has submitted the final report for
review by the owner and owner’s staff, it may be desirable,
budget permitting, to hold a close-out meeting. The close-
out meeting should include those directly responsible for
working on the assessment along with any individuals that
may be responsible for carrying out or influencing the next
steps for improving the building’s performance. This
meeting is valuable for discussing what worked and what
didn’t and the lessons learned during the O&M assessment
process. It also provides an important opportunity to rec-
ognize individual successes, celebrate the overall success of
the project, and discuss next steps.
 O&M ASSESSMENTS

INCREASING COST EFFECTIVENESS

Thorough preparation and willing participation by the
building staff prior to and throughout the assessment
process can reduce the overall costs. This section reviews
some ways that the owner and owner’s staff can help Staff can gather building
increase the effectiveness of the consultant’s time. If the documentation beforehand to
project, due to size or complexity, requires using a bid reduce the cost of the
process for obtaining consulting services, the request for assessment.
proposals should state the assessment responsibilities of
the in-house building staff. This helps bidders understand
what they can expect from the owner’s staff and develop
their budgets accordingly.

Gather Building Documentation

Compile an up-to-date building documentation package
prior to performing the O&M assessment. Otherwise the
consultant will need to gather this information as part of
the assessment process, which can be an expensive under-
taking. The documentation packet should be available at
the building and include as much of the following infor-
mation as possible:
• Drawings relevant to the systems targeted for commis-
sioning
• O&M manuals
• Testing, adjusting and balancing (TAB) reports
• Original design documentation (if available)
• An equipment list with nameplate information, dates of
installation, and submittals including pump curves and
fan curves
• List of outside service contractors regularly used
• Current PM logs or schedules
• Copies of current service contracts
• Control system documentation, such as sequences of
operation, special control strategies, control diagrams,
points list, control program or code, etc.
• Energy-efficient operating strategies
• Energy bill (electric, gas, steam, chilled water, etc.) or
energy accounting information for at least the last 24
months along with a rate schedule, unit price, or supply
contract information for each energy type
• 15-minute electrical demand data, if available

23
 O&M ASSESSMENTS

It is possible that some of the information will not be

readily available, such as pump curves, fan curves, and
written sequences of operation. However, the more docu-
mentation that the owner’s staff can update and compile,
the less time the consultant needs to spend obtaining this
information.

Perf or m Appr opriate Pr eventive Maintenance

The owner or manager should take special care to make
sure that in-house staff or an outside maintenance service
contractor completes scheduled preventive maintenance
(PM) work before the assessment begins. For example, if
the assessment occurs during the cooling season, the annu-
Perform all scheduled pre- al PM tasks for the cooling plant and systems should be
ventive maintenance before completed before commencing with the project. Typical
the assessment begins. deficiencies (dirty filters, broken or cracked belts, etc.)
normally taken care of through scheduled preventive
maintenance should not be left to the O&M consultant to
find and recommend fixing. The consultant’s time is
better used helping the building staff to find and solve
operating, design, and installation problems rather that
equipment-care deficiencies. Also, if the EMS will be used
to gather trend data during the project, calibrate all sensors
that will be used for data gathering purposes.

Perform Simple Repairs and Improvements as the

Project Progresses
Depending on their skill level, building staff can perform
a number of improvements and repairs as the project
progresses. Completing simple repairs and adjustments
discovered during the early part of the assessment increas-
es the effectiveness of any diagnostic monitoring and test-
ing that may occur later in the process. For example, there
is no sense in waiting to calibrate or relocate a sensor or fix
a binding damper only to have the diagnostic and testing
phase of the project indicate, once again, that this is a
problem. Also, finding an effective solution to a problem
is often accomplished through a series of “fixes” that
occur over the course of the project. Often what appears
to be a simple problem, once fixed, may allow the diagnos-
tic testing to uncover a larger but more subtle problem.

Perform Diagnostic Monitoring and Functional Tests

It is often appropriate and cost effective to have the most
motivated and interested building staff members assist the
consultant with the short-term diagnostic monitoring,

24
 O&M ASSESSMENTS

trend logging, and functional testing that occurs during the

course of the assessment. This may help reduce project
costs and provide the building staff with a learning experi-
ence that they can reapply later. If building operators are
trained to initiate EMS trend logs, it reduces the amount of
time the consultant needs to spend on the task. It also
eliminates the need to hire a controls contractor to do the
trending. The consultant develops the trend plan and ana-
lyzes the data that building operators collect.
Building staff may also assist with the installation and
removal of the portable dataloggers used for short-term
diagnostics and assist with carrying out the functional test
plans. Their assistance reduces costs and gives them expo-
sure to different approaches to troubleshooting problems
and investigating and verifying equipment performance.

25
 O&M ASSESSMENTS

N EXT S TEPS

T he O&M assessment expands and enhances the infor-

mation required to operate a building in an energy-
efficient manner. However, much of the information
provided by the O&M assessment may be useless if none
of the recommended improvements are carried out. Five
to twenty percent of the annual utility bill can be saved by
implementing low cost O&M improvements. Therefore
the most important next step is to implement the recom-
mended improvements.
The owner or manager must decide which items on the
master log provide the most benefit and effectively meet
the organization’s objectives. Although each of the find-
ings may yield definite benefits some are usually more cost
effective to implement first. For example, in some build-
ings it may be more cost-effective to implement plant-
related control strategies and schedule changes that obtain
comparatively quick paybacks before performing more
labor-intensive fixes, such as rebalancing the air distribu-
tion system. It’s not unusual to expect a simple payback of
18 months or less for the recommended improvements
that produce energy savings. The savings generated from
these improvements can sometimes pay for other improve-
ments that have less quantifiable benefits.
Next steps may also include:
• Developing an organization-wide plan for performing
O&M assessments on all of the organization’s buildings.
• Reviewing the recommendations for capital improve-
ments and deciding whether to further investigate their
benefits and costs.
• Revising the preventive maintenance plan to include
periodically checking operating strategies and schedules
for optimization opportunities.
• Tracking critical temperatures, flows, currents, and other
indicators of efficient equipment performance.

26
 O&M ASSESSMENTS

G LOSSARY OF T ERMS
Commissioning. According to ASHRAE Guideline
1-1996, the process of ensuring that new systems are
designed, installed, functionally tested, and capable of
being operated and maintained to perform in conformity
with the design intent.
Datalogger. A stand-alone, electronic data gathering
device that utilizes sensors to collect equipment infor-
mation over time. Data collected could include tempera-
ture, pressure, current, humidity, or other operational
information.
Diagnostic Monitoring. The practice of collecting data
on equipment operation over a period of time for the pur-
pose of assessing the equipment performance. This data
may be obtained through a datalogger or an energy man-
agement system. This data may consist of time-series or
change-of-value (COV) data that can be collected for digi-
tal points such as temperature, pressure, or status.
Energy Accounting. The process of tracking and analyz-
ing energy use for the purpose of detecting problems,
trends, or savings opportunities. Typically, energ y
accounting is performed for an entire building. In the
analysis process, adjustments may be made for variations in
weather, space use, or other variables from year to year.
Energy Assessment (audit). An investigation of systems
in existing buildings with the goal of replacing or retro-
fitting equipment. This is a quick process that may include
building simulation and results in a list of energy conser-
vation measures that involve significant capital investment.
Energy Management System. The automatic system
used for controlling equipment in a building. Most likely,
this will be a computer-based system, including either
pneumatic or digital components, or both.
Investment Grade Audit. An audit that incorporates the
aspects of a traditional energy audit plus a risk assess-
ment that evaluates the impact that occupancy, manage-
ment, maintenance and operational behavior will have on
energy-efficiency measures.
Nameplate Information. For a piece of equipment, the
information that gives the make, model, size, capacity,
electrical draw and other relevant factory data. This infor-
mation is sometimes found imprinted on a plate affixed to
the equipment.

27
 O&M ASSESSMENTS

O&M Assessment. A systematic method for identifying

ways to optimize the performance of an existing building.
This assessment involves gathering, analyzing, and pre-
senting information based on the building owner or
manger’s requirements.
O&M Consultant. A consultant who is hired by the
building owner to assist with an O&M assessment or
retrocommissioning in a management or oversight role.
This consultant guides the owner through development
and distribution of a request for proposal, through
commissioning provider selection, and possibly assists in
creating a program for retrocommissioning implementa-
tion at all owner facilities.
Payback. The length of time that an energy-efficiency
improvement will take to provide the full return on invest-
ment. For example, if a $1,000 investment will yield
$1,000 in energy or maintenance savings by the end of the
first year, that investment has a 1-year payback.
Preventive Maintenance Program. A program that is imple-
mented to address equipment maintenance issues proactively.
The goal of such a program is to perform maintenance tasks on
a regular schedule so as to maximize the operational efficiency
and lifetime of the equipment.
Request for Proposal (RFP). A document that a project man-
ager uses to solicit services. The RFP may ask for a proposed
approach, budget, and qualifications. The owner will then select
a service provider from among the responses received.
Retrocommissioning. For an existing building, the
process of assessing, analyzing, and upgrading its opera-
tional performance. A preliminary step in the retrocom-
missioning process is the O&M assessment.
Retrocommissioning usually results in a number of low-
cost or no-cost activities that save energy while maintain-
ing or improving comfort.
Trend Log. A log of data that is collected through an
energy management system. This data may consist of
time-series or change-of-value (COV) data that can be col-
lected for digital points such as temperature, pressure, or
status.

28
 O&M ASSESSMENTS

LIST OF ACRONYMS
COV Change of Value
DOE U.S. Department of Energy
EMS Energy Management System
EPA U.S. Environmental Protection Agency
HVAC Heating, Ventilating, and Air Conditioning
IAQ Indoor Air Quality
IGA Investment Grade Audits
IRR Internal Rate of Return
O&M Operation & Maintenance
PM Preventive Maintenance
TAB Test and Balance

29
 O&M ASSESSMENTS

R EFERENCES
Claridge, David, et al. “Implementation of Continuous
Commissioning in the Texas LoanSTAR Program: ‘Can
You Achieve 150% of Estimated Retrofit Savings’
Revisited,” in Volume 4, Pr oceedings of the 1996 ACEEE
S u m m e r S t u d y o n E n e r g y E f f i c i e n c y i n B u i l d i n g s.
Washington, DC: America Council for and Energ y-
Efficient Economy, 1996.
Gregerson, Joan. “Commissioning Existing Buildings,” a
Tech Update (TU-97-3) published by E Source, March
1997.
Haasl, Tudi, Karl Stum and W. Mark Arney, “Better
Buildings through Improved O&M: A Five Building Case
Study” in Pr oceedings of the Four th National Conf er ence on
Building Commissioning, 1996.
Herzog, Peter. Ener g y-Ef ficient Operation of Commer cial
Buildings: Redefining the Ener g y Manager’s Job, McGraw-
Hill, New York, NY, 1997.
PECI. A P r a c t i c a l G u i d e f o r C o m m i s s i o n i n g E x i s t i n g
Buildings. Published by Oak Ridge National Laboratory for
the U.S. Department of Energy, 1999.
PECI. B u i l d i n g C o m m i s s i o n i n g : T h e K e y t o Q u a l i t y
Assurance, part of the Rebuild America Guide Series.
Published by the US Department of Energy, 1998.
Piette, Mary Ann. “Q u a n t i f y i n g En e r g y S a v i n g s f r o m
Commissioning: Pr eliminar y Results fr om the Nor thw est.”
Presentation at the 4th National Conference on Building
Commissioning, 1994.

30
 O&M ASSESSMENTS

This publication is part of the O&M Best Practices Series,

which includes the following books:

¾ 15 Operation and Maintenance Best Practices for

Energy-Efficient Buildings
¾ Operation and Maintenance Ser vice Contracts:
Guidelines for Obtaining Best-Practice Contracts for
Commercial Buildings
¾ Portable Data Loggers - Diagnostic Monitoring Tools
for Energy-Efficient Building Operation
¾ O&M Assessments: Enhancing Energ y-Efficient
Building Operation
¾ Energy Management Systems - A Practical Guide
¾ Putting the “O” Back in O&M: Best Practices in
Preventive Operations, Tracking, and Scheduling

31
APPENdix

A SAMPLE SITE-ASSESSMENT
FORMS
Best Practices in O &M Assessm e n t s
for Ener g y-Ef ficient Buildings

T hese sample forms are included to help owners and

facility managers understand what services and deliv-
erables to expect from an O&M assessment.
Assessment forms help guide the building staff interview
process. The O&M consultant develops assessment forms
for each piece of equipment and system that is part of the
project scope. The forms may address either operation or
maintenance issues or both depending on the project
requirements. The site-assessment is an information gath-
ering exercise. Minor repairs and simple improvements
may be implemented during the assessment. However, the
major improvement recommendations become part of the
final report and are handed off to the owner for imple-
mentation.
The sample forms in this appendix include an initial O&M
staff interview script and site assessment forms for
domestic hot water control and operation and pumps. The
pump assessment form package consists of three types of
forms: a control investigation form, a condition investiga-
tion form, and a nameplate data form. If gathering name-
plate data is a part of the project scope, it may be more
cost-effective to assign this tasks to O&M staff prior to
the start of the assessment.

A-1
APPENDIX A

Sample Site-Assessment Form – Initial Interview

The following are sample questions for the initial interview process with facility staff members.

General O&M Questions

Has your heating system always met load? † Yes † No
Under what conditions has your heating system not met load?

What was or is your solution for this problem:

Has your cooling system always met load? † Yes † No

Under what conditions has your cooling system not met load?

What was or is your solution for this problem:

Do you feel you have any HVAC equipment that is undersized? † Yes † No
If yes, explain:

How do you compensate for the undersizing?

Do you feel you have any HVAC equipment that is oversized? † Yes † No
If yes, explain:

How do you compensate for the oversizing?

Is the building mechanical equipment (fans, pumps, etc.) scheduled to start up simultaneously or is the
startup staged (explain)?

What HVAC adjustments do you make for unoccupied areas or spaces (turn off HVAC, adjust thermostat
to minimum heating and cooling, close off diffuser, etc.)?

In your opinion, is the building HVAC system well balanced? † Yes † No

If no, explain:

Explain the method of humidifying the building:

Are there any problems with humidification (explain)? † Yes † No

Explain the method of dehumidifying the building:

Are there any problems with dehumidification (explain)? † Yes † No

From which areas in the building do you receive the most complaints (explain nature of complaints)?

What is your worst building problem and how do you deal with it?

Do you receive utility bills or energy accounting reports on a regular basis? † Yes † No
If YES, are they useful (explain)?

Comments and Notes:

A-2
 ASSESSMENT FORMS

Sample Site Assessment Form for Domestic Hot Water

What is the temperature setpoint for each of the building’s hot water heaters?
Heater Area Served Nameplate Temperature Reason for Setting
ID Data Setting

y Explain method of domestic hot water control?

y If hot water is preheated, explain method?

y Do the recirculating pumps run continuously?

Notes, Comments, and Observations:

Summarize deficiencies and possible improvements on Master Log:

A-3
APPENDIX A

Sample Assessment Forms: Pump Control

Pump Control Questions:

Circle or explain what function the pump(s) serves:

Condenser Water Chilled Water Primary Chilled Water Secondary

Heating Water Primary Heating Water Secondary

Other ___________________________________________________________________

Number of Pumps: Parallel or Series (circle one)

Pump ID #(s):

Facility Name for Pumps:

y What causes the pump to initially start?

y What causes the pump to cycle?

y How is capacity controlled, VFD, etc?

(If a VFD is used attach VFD Assessment Form to the appropriate Pump Form)

y If applicable, what is the differential pressure control point?

y If there is a lead/lag strategy, explain:

y If pumps are staged, explain:

Notes, Comments, and Observations:

(Summarize deficiencies and possible improvements on Master log)

A-4
 A SSESSMENT F ORMS

Sample Assessment Form: Pump Nameplate Data

Pump Nameplate Information
Use N/A for not applicable and N/O for not obtainable or available.
Pum p Function:Æ
(H eating w ater,
condenser,etc)

Pum p ID or N um ber

Pum p M anufacturer

M odelN um ber

SerialN um ber

A ge

Im peller size

H ead pressure

Suction Pressure

D ischarge Pressure

G PM

M otor M anufacturer

M otor M odel#

Phase

Volts phase to N am eplate: N am eplate: N am eplate: N am eplate:

phase

M easured: M easured: M easured: M easured:

Volts phase to M easured: M easured: M easured: M easured:

ground

A m ps for each N am eplate: N am eplate: N am eplate: N am eplate:

phase

M easured: M easured: M easured: M easured:

kW M easured: M easured: M easured: M easured:

Pow er Factor M easured: M easured: M easured: M easured:

HP

R PM

Notes, Comment, and Observations:

A-5
APPENDIX A

Sample Assessment Form: Pump Condition Checklist

Check if okay; enter comment number if deficient. Document comments by number
form provided below checklist. Use N/A for not applicable and N/O for not obtainable or
available.
Pump ID:

General condition good (clean and

appear well maintained)
No unusual noise or vibration
No leaks

Thermometers on supply and

return

Pressure gauges installed across Suction: Suction: Suction: Suction:

pumps and functioning (if so,
record pressures) D ischarge: D ischarge: D ischarge: D ischarge:

Pump rotation correct

Properly balanced

Strainers in place and clean? State

when strainers were last cleaned
Piping properly insulated

Piping generally in good

condition
Valves in good condition - no
leaks
Water treatment in place and
operating

Use the back of this form or attach notes briefly describing the preventive maintenance program for the
pumps.

Number Comment

Summarize all deficiencies and possible improvements on the Master Log:

A-6
APPENDIX

B O&M ASSESSMENT REQUEST

FOR PROPOSAL CHECKLIST
Best Practices in O &M Assessm e n t s for
Ener g y-Ef ficient Buildings

T his appendix contains a checklist of information for

preparing an RFP to obtain O&M assessment services.
This checklist is not comprehensive, but includes items
specific to the assessment process that will help obtain a
realistic proposal.

B-1
APPENDIX B

O&M Assessment RFP Checklist

‰ Include clear objectives (energy, comfort, building control, etc.) and assign a priority to each.
‰ Provide information about the building or buildings involved in the assessment. At minimum include:

• A brief building description

• Square footage
• A general HVAC description (central plant as well as distribution system for both heating and
cooling); controls system description
• A list of major equipment, including number and age of each type that is included in the
assessment
• A brief renovation, retrofit and equipment replacement history
• A building use description
‰ Provide as much information on the trending capabilities of the EMS as possible. Ideally, provide a
complete points list. This increases the bidders’ ability to more accurately budget the data acquisition
tasks. Also state whether the system can be accessed remotely (by modem).
‰ Provide a list of available, up-to-date building documentation.
‰ Include as complete a scope of work as possible. If it is unclear what the scope of work can
realistically include, allow step one of the project to address developing a detailed scope of work. Or,
hire an experienced O&M consultant to help develop the scope of work for the RFP. The scope of
work should include a list of equipment and building systems that are included in the assessment.
State the extent to which the assessment includes zone level equipment (all, none, or a sampling
strategy). Also, clearly state in-house building staff’s and/or service contractor’s responsibilities in
assisting with the assessment. Clearly list the O&M consultant’s primary responsibilities.
‰ Request the O&M consultant’s general approach and a skeletal assessment plan for the project.
Otherwise specifically ask the bidder to detail their approach on these issues.
‰ List the specific support that the consultant can expect from the facility staff and service contractors
(particularly the controls vendor) and state the skill level of each facility staff member. State how
much testing and investigation facility staff can perform.
‰ When requiring savings calculations/estimates, state the desired method for completing the work
(qualitative ranking of measures for implementation using expert judgment, cost estimates and
engineering calculations of savings, costs from actual bids and bin or computer simulations of
savings).
‰ List the required qualifications for the consultant and qualifications for any subcontractors.
‰ Request work examples from previous projects (final reports, Master Log of Findings, etc.).
‰ List the RFP selection criteria.
‰ Give a cost range for the project.
‰ Provide a list of required deliverables.
Other RFP checklist items:

B-2
APPENDIX

C O&M SAMPLE PROCEDURES

AND PLAN

Best Practices in O &M Assessm e n t s

for Ener g y-Ef ficient Buildings

A ppendix C contains sample O&M Assessment

Procedures and a Plan for a typical office building.
The procedures may be modified for more or less detail
depending on the scope and objectives of the project and
building type. This appendix is intended to give owners
and managers an idea of what to expect from the O&M
assessment process.

C-1
APPENDIX C

Sample Operations O&M Assessment Procedures and Plan

Name of Building: ________________________________________________________________________

Site Address: _____________________________________________________________________________

Version: ‰ Draft for Review

‰ Final Approved

Owner / Manager Date

Primary Site Contact and Telephone / Fax/ and E-mail:

O&M Consultant: __________________________________________________________________________

Firm:____________________________________________________________________________________

Telephone / Fax / E-mail:

_________________________________________________________________________________

Overview
This document outlines site procedures for the operations and maintenance assessment for Building 1. Energy
savings and improving building control are the primary focus. The assessment objectives are to:
• Gain an in-depth understanding of how and why the building systems and equipment are currently
operated and maintained
• Identify ways in which operations might be improved
• Gain information to help focus the diagnostic monitoring and testing
• Identify equipment replacement needs for further investigation
Steps in the assessment process include interviewing the facility O&M staff, conducting site inspections of all
primary energy using equipment and examining control sequences, setpoints, control parameters and
schedules. The initial site assessment does not include in-depth equipment testing. Problems and
improvements are identified solely by gaining information from facility staff, equipment vendors, the control
system and written documentation.
The O&M consultant will generate a list of significant improvements based on the assessment alone, prior to
any monitoring or functional testing. The assessment information will also reveal areas where formal
monitoring and testing have the most potential to identify further operational improvements.

Work Plan and Procedures

The first step in the assessment is to hold an initial kick-off meeting where all parties will meet to review the
building operations assessment procedures and protocols and the project schedule. During the assessment, the
O&M consultant will interview facility staff to obtain general building information, detailed operations,
equipment, and maintenance information. Furthermore, facility staff will accompany the consultant on the
initial walk-through and subsequent inspections.
The assessment consists of the eleven tasks listed below.

C-2
 P RO C E D U R E S AND PLAN

1. Obtain an Understanding of the Building Equipment and Systems

Obtain general information about the building energy use systems, how the systems are controlled and how
the building spaces are used.
‰ Review all requested building documentation (equipment list, mechanical and control drawings, etc.). This
task may be completed off-site, prior to other assessment activities.
‰ Interview facility manager and building operator/engineer for general information about the building
equipment, systems, and operation, as needed, depending on how much documentation is available.
‰ Through all phases, keep a findings and recommendations log.
‰ Perform a general walk-through of building spaces, equipment and systems to become familiar with their
layout and function.
‰ Interview facility staff again for more detailed information and to answer new questions.
‰ Interview the controls vendor and HVAC service contractor, if necessary.
‰ Revisit plans and documentation as necessary.

2. Understand the Building’s Energy Use Profile and Identify the Largest Energy
Using Equipment
Identify what single pieces of equipment and systems or groups of smaller equipment controlled together are
the largest energy users. For larger buildings (>60,000 sf) gather and analyze utility bills.
‰ Gather, tabulate, graph and analyze monthly utility bills for up to four years. Obtain 15-minute pulse data, if
available. If necessary, use energy accounting spreadsheet or software.
‰ Normalize data to weather or occupancy conditions, if possible.
‰ Graph a 12-month rolling average consumption. Look for trends and changes in energy use. Determine
causes.
‰ Graph consumption and demand over 12 months. Look for anomalies. Determine causes.
‰ Calculate electric load factor [monthly kWh / (monthly kW x days in month x 24 hrs)]. If less than 0.15,
look for demand spikes.
‰ Examine 15-minute load profile, if available, for spikes and loose schedules.
‰ Interview facility staff.
‰ Review equipment lists, nameplate data, plans, equipment and system documentation (some of this task may
be completed prior to site visit).
‰ Visually inspect equipment, if necessary.
‰ Identify where the majority of costs are being incurred (cooling, heating, base load, etc.).

3. Identify Known Problematic Control and Operational Problems

Identify the most severe operational problems for the building operators and facility management.
‰ Interview operators and facility management.
‰ Visually inspect problematic equipment, as needed.
Note: During the entire assessment process, improvements that can be immediately and easily implemented,
such as control parameter or setpoint changes, and that will not negatively affect the future diagnostic
monitoring, may be implemented as they are identified, with the proper authorization and
documentation.

C-3
APPENDIX C

4. Identify the Design and Operational Intent and Control Sequences

For the largest energy users and for equipment related to the most severe control and operational problems,
identify the purpose of the equipment and its operating parameters (such as what causes the equipment to turn
on and off, cycle and stage). Also investigate the factors that limit or influence optimal equipment operations.
Clearly understand the sequence of operations and all related setpoints, schedules, resets, and lockouts.
‰ Interview operator (and service contractors if necessary).
‰ Review plans, control drawings, sequences, building automation system program.
‰ Discuss the energy -efficient equipment currently installed in the building.
‰ Gather and review equipment and system documentation.
‰ Inspect control program(s).
‰ Document the control sequences for each piece of equipment. Attach the original written sequences
(provided by facility staff) with annotations from this task.
‰ Document control sequences and strategies.
‰ During the site assessment interviews and documentation review, develop any missing documentation of
important control sequences.

5. Identify Procedures to Reduce Unnecessary Runtime and Unnecessary

Capacity Levels
5.1. Identify when and why each of the significant energy using equipment or systems is operating.
Understand capacity control and identify who controls or influences the schedule.
‰ Interview operator and janitorial staff.
‰ Inspect control schedules, clocks, etc.
‰ Conduct a night audit (when diagnostic monitoring is not used).
‰ Identify equipment monitoring needed to better complete this task. Monitor now if no further monitoring is
planned, otherwise feed this information into the monitoring plan.
1
5.2. Determine the times that the largest energy-using equipment must operate and at what capacity level it
must operate to properly fulfill its intended function.
‰ Interview operators, janitorial staff, and possibly tenants.
‰ Review design intent (if available) and required sequences of operation.
5.3. Identify methods to reduce the duration and level1 of current equipment operation to the minimum point
necessary to maintain comfort, productivity and equipment life.
‰ Analyze the needs and systems based on gathered information, manufacturer requirements and judgment.
‰ Discuss recommendations with operator.
‰ Consider changes to control system, time clocks, and manual schedules.
‰ Consider upgrading to more automated control.
‰ Document scheduling and capacity control improvements.

1level here refers to set points of supply air, mixed air, space temperature, quantity of outside air, exhaust fan speed, light
levels, etc.

C-4
 P RO C E D U R E S AND PLAN

6. Document Identified Equipment Condition Problems (broken dampers, dirty

coils, sensor calibration, etc.)
‰ During the site assessment walk-through and interviews keep a list of equipment that shows significant
condition problems.

7. Identify Changes to Control Parameters, Strategies, Set Points, Sequences or

Maintenance Activities that will Optimize Efficiency, Comfort, Operation and Control
‰ Analyze current parameters, setpoints, deadbands, offsets, setups, setbacks, lockouts, multiple equipment
staging parameters, interlocks with other equipment or events, energy -efficient strategies, etc. Identify
appropriate changes that will reduce energy consumption or improve control while maintaining comfort,
productivity and equipment life.
‰ Explicitly examine and minimize any simultaneous heating and cooling.
‰ Discuss the ideas with facility staff, as needed, to verify viability of the concepts, including cost considerations.
‰ Note the agreed solution in the recommended improvement section of the Master Log of Findings.

8. Develop and Implement Diagnostic Testing and Monitoring Plans

‰ From initial site assessment interviews and walk-through, determine the need for and extent of diagnostic
monitoring and testing to help verify the existence of suspected problems.
‰ Select the method of testing such as trending with EMS, gathering data with portable dataloggers, and/or spot
testing with handheld instruments.
‰ Develop and implement the diagnostic plan.
‰ Analyze the diagnostic data and record findings on the master log along with recommendations.

9. Identify Facility Staff Training Needs

‰ Interview facility staff and discuss current levels of staff training, current training policy and ask if additional
training is needed.
‰ Determine whether staff needs additional training.

10. Recommend Equipment Upgrades that may be Cost-Effective

‰ During the normal course of examining the building documentation and from the rest of the site assessment
activities, keep a list of possible upgrades to equipment that may prove to be cost effective.
‰ At the end of the site assessment, evaluate whether efficiency upgrades for major energy -using equipment are
worthy of further consideration, taking into account current efficiency, condition and age. (This list of
recommendations is based solely on professional insight and expertise. It is not the result of a comprehensive
energy audit.)

11. Document the Assessment Process and Results

‰ Document the general assessment process and findings.
‰ Finalize the recommended improvements resulting from the assessment. The recommendations list will include
the name of the system or piece of equipment involved, a description of the deficiency or problem, and a
suggested solution.
‰ Suggest areas for further investigation, monitoring and functional testing.
‰ Submit the assessment documentation to the owner.
‰ Create permanent documentation of control sequence changes or clarifications, including a listing of all set
points and schedules.
C-5
APPENDIX

D SAMPLE MASTER LOG

FINDINGS
OF

Best Practices in O &M Assessm e n t s

for Ener g y-Ef ficient Buildings

A ppendix D contains a sample master log of findings

from an O&M assessment.

Acronyms used in the master log of findings

are as follows:

D = design
M = maintenance
O = operation

AC = air conditioner
CT = cooling tower
EMS = energy management system
MFG = manufacturer
OSA = outside supply air
RA = return air
TOD = time-of-day
VAV = variable air volume
VFD = variable frequency drive

D-1
A PPENDIX D
Sample: Master List of Deficiencies and Potential Improvements (from an actual project)
Item Equipment or Description of Finding
# System ID
1 All Plant Equipment Manual Start up and shut
down of boilers, chillers,
pumps. Automatic
scheduling not
incorporated.
2 Boiler Control Control strategy for loss of
boiler not programmed.
3 Chillers 1 and 2 Lacks interface with EMCS
- (see also #2).
4 Chillers 1 and 2 Chilled water reset
capability not used.
5 Chillers 1 and 2 Energy tracking.
6 Chillers 1 and 2 Chillers do not operate in
parallel per original design
intent.
7 Chiller 1 and 2 High demand on start up.
8 EMCS Trending not installed.
9 Heat/Cool Change Manual change over
over between heating and
cooling.
10 Chilled Water Pump is possibly
Pump, P-1 oversized.
Piping is possibly
undersized.
11 Condensate Pump Pump located inside of
inside AC-1 AC-1 may cause high
discharge air temperatures.
12 Cooling Tower Fans Diagnostics show tower
cycles on primary fan only.
Pony motor not working.
13 Cooling Tower Integral chiller control for
Control staging cooling tower fans
not used.
Temperature bulb for
sump may be poorly
located.
14 Cooling Tower 3- According to functional
way Valve tests, the valve doesn’t
modulate to maintain
condenser water
temperature as it should.
15 Heating System Data shows heating water
supply temperatures.
Between 80 and 90°F.
16 Plant Pressure and Temp gages
Instrumentation missing from plant piping.
D-2
Recommended Improvement Type* Status
Include and implement automatic O Done.
scheduling for plant equipment.
Using optimum start incorporate
setup and set back strategies.
Add programming to allow O Done
automatic start up of 2nd boiler on
loss of 1st boiler.
At minimum, allow EMS to enable O Done. Retest deferred
and disable the chiller and add until cooling. Season.
monitoring points for water
temperatures and run status.
At minimum, allow the chiller’s O Reset installed through
integral controls to reset chilled EMS system.
water temperature. (See
manufacturer’s instructions.)
Add points to EMCS to allow O/M Done.
energy and demand tracking for
both chillers.
Have design engineer and chiller D Design referral.
mfg. review present chilled water Design review in
system. Request a proposal for process.
design changes necessary to allow
chillers to stage as a lead/lag
system.
Consider employing soft start O Soft start added to
through EMS or integral controls. chiller start up.
Add trending capabilities to EMS O/M Done.
to improve building staff
troubleshooting abilities.
Add points needed to incorporate O Done.
automatic change over strategy.
Investigate sizing of the pump. D Pump review Done.
Check amps against nameplate Piping design referral
during full load conditions. review in process.
Review piping.
Investigate possible relocated M Insulated for
pump or venting it to mech. room. temporary solution.
(Does the pump run
continuously?)
Troubleshoot CT. to determine M/O Done.
staging problem Repair so pony
motor cycles as 1st stage.
Investigate using the chiller O Delta P Strategy not
capability of staging the cooling appropriate. Staging
tower fans based on condenser from sump temp.
differential refrigerant pressure. If better method. Bulb
present strategy is kept, relocate relocated.
temp. bulb lower in pan and closer
to outlet.
Troubleshoot problem and repair D/M/ Repaired. This will be
so valve modulates as designed. O rechecked as part of
the design review and
PM recommissioning.
Investigate. Normally heating O Resolved with new
water temp is between 140 and reset schedule.
180°F.
Install pressure and temperature M As time and budget
gages on chiller, boiler, and permits for building
pumps as needed to facilitate staff.
maintenance and troubleshooting.
 SAMPLE MASTER LOG FINDINGS

Sample: Master List of Deficiencies and Potential Improvements (con’t)

Item Equipment or Description of Finding Recommended Improvement Type* Status

# System ID
17 East Primary Air Data shows inconsistent Correct through EMS. O Done
Unit control of supply and
AC-1 mixed air. Steam valve
erratic during temps below
35 deg. F.
18 West Primary Air Data shows erratic control Investigate. Remonitor during O Done.
Unit AC-12 of supply air and no drop second round of diagnostics by
in supply air temp when measuring mixed air temp also.
chillers were on.
19 AC-13 (Multizone Data shows wide swings in Improve control through EMS. O/M Done. Retest show
Unit) hot and cold deck Investigate damper and valve correction successful.
temperatures resulting functions
poor control of space
temperatures.
20 AC-13 (Multizone Data shows poor Improve economizer control O/M Same as 18.
Unit) economizer control. through EMS. Investigate damper
function. Consider enthalpy
control using EMS.
21 All Air Handlers: TOD scheduling not used. Include and implement TOD O Scheduled from plant
scheduling. Stagger start time at equip. through EMS.
occupied target and following
power loss.
22 Air Handler AC-1s Preheat coil is not Relocate averaging bulb sensing M/O Done.
OSA Preheater functioning properly. element to read temperature of air Averaging bulb
Present averaging bulb stream. Ensure freeze protection relocated.
sensor (input for operates to shut OSA damper when
controlling the steam OSA conditions dictate. Check
valve) was found to have control strategy through system.
70% of its sensing element
outside of the unit.
23 Air Handler AC-11 OSA dampers not Program system and add humidity O Done. 11, 13, 15, 18 fine
through 18 controlled to take sensors (outside and inside) to tuned.
advantage of economizer employ enthalpy control for
capability. economizing. At minimum use dry
bulb control.
24 AC-15 and 18 Data shows AC-15 OSA Improve economizer control with O/M Same. Done.
damper always closed and EMS program and investigate
AC-18 opening partially damper function. (See also above
some of the time. #22)
25 Air Handlers AC-4,5 No air side economizing. Add actuators to OSA and RA O/D 10 are done. Others
and 10 dampers along with EMS points dependent on AC-1.
and program to take advantage of Design review in
economizer function. progress.
26 VAV Operation and VAV boxes are secured Consider reinstituting the VAV M/O Done. VFD working.
Control for west open and the VFD is system using the VFD. Repair Reheats not needed.
conf. space circumvented. Test need reheat if they are needed.
for duct heaters.
27 OSA Temperature Calibration issue. Check calibration of OSA M/O Done. Relocated to roof
Sensor temperature sensor, relocate, and using weather resistent
properly shield if needed. type sensor and
shielding.
28 EMS Facility staff did not Provide 40 hours of training to O 40 hours of training
receive adequate training facility staff using original specified and complete.
on EMS. specification. Train building staff to
present data in graphical format.
29 Domestic Hot Water High water temperature Lower domestic hot water to 110°F O Presently, higher temp
(140). for restrooms and 120°F for needed for kitchen.
showers. Kitchen needs for hot Point of use water
water have priority over this heater to be installed in
strategy. kitchen.

* O = operation; M = maintenance; D = design.

D-3